Swap Dealer Chief Compliance Officer

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Who You Are:

The Chief Compliance Officer of the Swap Dealer will be responsible for establishing, maintaining and developing Galaxy’s swap dealer compliance program for CFTC swap dealer activities
The swap dealer is a direct subsidiary of Galaxy Digital L
and sits within the sales and trading team

What You’ll Do:

  • Be responsible for Galaxy’s CFTC swap dealer compliance program, covering swap activities in digital assets
  • Manage the swap dealer team with advisory coverage of swap dealer including sales and trading activity in the U
    office, as well as the global impact of the relevant U
  • Evaluate new products, programs, services and business initiatives to ensure compliance issues are identified and addressed
  • Serve as a point of contact and manage relationships with the regulators ( the NFA) with regards to swap dealer examinations, inquiries, and issues
  • Prepare the CFTC annual report that contains a description of the swap dealer’s compliance with the applicable regulations
  • Identify, investigate and remediate weaknesses in relevant policies, procedures, systems and training
  • Laisse with other teams within the swap dealer, such as Legal, Finance, Risk, Operations, and IT to ensure compliance with applicable requirements

What We’re Looking For:

  • A minimum of 7 years of legal or compliance experience/background preferably with a U
    sell-side firm
  • Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses
  • Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer

Bonus Points:

  • JD or MBA degree required; and
  • Knowledge of the regulatory treatment of digital assets

What We Offer:

  • Competitive base salary, bonus, and equity compensation
  • Flexible Time Off (paid)
  • 3% 401(k) company contribution
  • Company-paid health and protective benefits for employees, partners, and other dependents
  • Generous paid Parental Leave
  • Free virtual coaching and counseling sessions through Ginger
  • Opportunities to learn about the Crypto industry
  • Free daily snacks in-office
  • Smart, entrepreneurial, and fun colleagues
  • Employee Resource Groups

*Benefits may vary depending on location

Apply now and join us on our mission to engineer a new economic paradigm

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